Kristy K. Johnson has over 23 years of experience in the field of accounting and financial statement preparation and over 20 years of experience as a FINOP.   She has served as a FINOP for broker/dealers with statutory net capital requirements of $5,000 to $250,000. These broker/dealers have consisted of, but are not limited to, full-service broker/dealers engaged in retail activities, broker/dealers that offer private placements, broker/dealers that are engaged in mergers and acquisitions, and broker/dealers that specialize in real estate. 

Kristy provides FINOP services through MGL Consulting, LLC where she became an employee in April 2000 and currently serves as a Vice President. In her current capacity she works closely with MGL’s Executive Team providing services to MGL’s Investment Advisor clients, as well as providing Financial and Operations Principal (FINOP) services for broker/dealer clients. As a Vice President, she ensures the timely and accurate preparation and/or filing of various regulatory filings as required by various federal and state agencies.  

Kristy has available resources and talents of 10 employees at MGL Consulting, LLC. Excluding Ms. Johnson, these employees include: one CPA; a part-time FINOP with an excess of 30 years FINOP experience; four senior officers and consultants, whose duties are almost exclusively devoted to broker/dealer issues; four employees, who have served as compliance directors and/or principals of FINRA member firms; and two executives who were employed by FINRA, including a District Director and a Field Supervisor. 

Kristy received a Bachelor of Business Administration in Accounting in December 1995 and a Masters of Business Administration in Accounting in May 2001 from Sam Houston State University, Huntsville, Texas.

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